What are the responsibilities and job description for the Regulatory Control Senior Advisor – AVP position at Madison-Davis, LLC?
Investment bank located in Jacksonville, Florida looking to bring on board an “Regulatory Control Senior Advisor – AVP” to join their team. The firm is currently in a hybrid model (3 days in office).
Responsibilities :
- Conduct calibration and effectiveness reviews of priority and assigned Trade Surveillance scenarios
- Review existing processes / procedures and provide input / recommendations for enhancing processes and creating strategic solutions for calibrating & validating global surveillance alert scenarios
- Support the broader surveillance team and Technology to analyze alert scenario / detection engines’ ability to capture specific use cases (e.g. external regulatory filings or internal findings outside surveillance)
- Review and interpret relevant industry regulations and internal policies to evaluate the effectiveness of compliance surveillance controls
- Report review findings to the surveillance management team and key stakeholders including Audit
- Using systems including Nasdaq Trade Surveillance, CDSW, HUE, SharePoint, Tableau, MS-Office suite, RStudio
